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R.A.S – Retail Audit Standard Tiêu chuẩn đánh giá chuỗi bán lẻ (Part 1 Phần 1) Retail Inspection Standard Tiêu chuẩn đánh giá Inspection standard to assess the food safety level of compliance of foodstuff distributed in retail store Tiêu chuẩn đánh giá AN TOÀN THỰC PHẨM trong các cửa hàngsiêu thị bán lẻ
R.A.S Retail Audit Standard Retail Inspection Standard Inspection standard to assess the food safety level of compliance of foodstuffs distributed in retail stores © RAS June 2009 - Version 2.0 – EF05 Retail Inspection Standard – Version 2.0 Page 2/102 ACKNOWLEDGMENTS The R.A.S (Retail Audit) Standard) technical committee would like to thank all of the members who participated in preparing this standard R.A.S Technical Committee members: Chairperson: Pierre de Ginestel (AUCHAN)/Magali Bocquet (F.C.D.: Fédération des entreprises du Commerce et de la Distribution) In alphabetical order by retailer: AUCHAN: CARREFOUR: CASINO: CORA: MONOPRIX: SYSTEME U: Consultant (SILLIKER France): Jean-Charles Delvas Frédéric Herault Marc Murray Nanda Chaboud Cécile Boye Rémi Lecerf Stéphane Dufort David Legoff Virginie Lautier Anne Buffard Marjorie Georgeot Julie Lescot Sylvie Vaisaire Hélène Guiet Jean-Marie Rust Jean-Philippe Martin The Technical Committee would also like to thank the stores and inspectors who participated in the test inspections during the pilot phase as we validated this standard © RAS June 2009 - Version 2.0 – EF05 Retail Inspection Standard – Version 2.0 Page 3/102 TABLE OF CONTENTS PART 1: INSPECTION PROTOCOL INTRODUCTION HISTORY AND OBJECTIVES OF THE R.A.S 2.1 2.2 SCOPE OF INSPECTION PREPARATORY VISIT AND INSPECTIONS: FREQUENCY AND DURATION 4.1 4.2 4.3 4.4 PREPARATORY VISIT TO THE RETAILER HEADQUATER STORE INSPECTION .ERREUR ! SIGNET NON DEFINI DETERMINATION OF THE FREQUENCY OF INSPECTIONS DURATION OF INSPECTIONS SCORING OF REQUIREMENTS - PRINCIPLES AND PARTICULARITIES 5.1 5.2 5.2.1 5.2.2 5.2.3 5.2.4 5.2.5 5.2.6 5.2.7 5.3 5.3.1 5.3.2 5.3.3 5.4 5.5 5.6 5.7 5.8 HISTORY FOOD SAFETY OBJECTIVES FOR SOLD FOOD PRODUCTS GUIDELINES FOR INSPECTORS DIFFERENT TYPES OF REQUIREMENTS AND SCORING "Requirements" "System requirements" "KO requirements" "Alert re-wrapping requirement" 10 Double reduction of points 11 N/E scoring 11 N/A scoring 123 MEASURING FIELDS ERREUR ! SIGNET NON DEFINI Temperature measuring fields Erreur ! Signet non défini Dirty-surfaces measuring fields 12 Exceeded measuring fields 12 ALERT RE-WRAPPING ERREUR SCORING OF OPTION .ERREUR ! SIGNET NON DEFINI ! SIGNET NON DEFINI SCORING OF ACTIVITY .ERREUR ! SIGNET NON DEFINI SCORING OF THE STORE ERREUR ! SIGNET NON DEFINI SCORING 13 INSPECTION PROCESS FOR STORES 15 6.1 6.2 6.3 6.4 6.4.1 6.4.2 6.4.3 6.4.4 SELECTION OF THE INSPECTION BODY 15 PREPARATION OF THE STORE INSPECTION 15 TIME FRAME FOR INSPECTION 15 MODEL INSPECTION PLAN 15 Introductions 15 Document evaluation versus on-site inspection 16 Final conclusions 16 Closing meeting 16 STRUCTURE OF THE INSPECTION REPORT 16 DISTRIBUTION OF THE REPORT ERREUR ! SIGNET NON DEFINI COMPLAINTS 17 10 OWNERSHIP AND USAGE OF THE R.A.S LOGO AND STANDARD 17 11 OWNERSHIP OF THE INSPECTION REPORT 17 12 REVIEW OF THE STANDARD 17 13 INSPECTION PROCESS FLOW CHART 18 PART 2: REQUIREMENTS 19 14 REQUIREMENT DETAILS 20 PART 3: REQUIREMENTS FOR INSPECTION BODY AND INSPECTORS 25 15 INTRODUCTION 25 16 REQUIREMENTS FOR INSPECTION BODIES 25 16.1 16.2 16.3 16.4 16.4.1 16.4.2 16.5 17 GENERAL REQUIREMENTS 25 SPECIFIC INDEPENDENCE AND IMPARTIALITY REQUIREMENTS 25 SIGNATURE OF CONTRACT WITH THE OWNER OF THE R.A.S STANDARD 25 APPOINTMENT OF THE R.A.S LEADER 26 Roles of the R.A.S leader 26 Selection and qualifications of the R.A.S leader: 26 APPOINTMENT OF A RETAILER CORRESPONDENT 267 INSPECTOR SKILLS AND EXPERIENCE 267 17.1 17.2 17.2.1 17.2.2 PRINCIPLE: 267 REQUIRED SKILLS AND EXPERIENCE 278 Required skills 278 Required experience: 278 © RAS June 2009 - Version 2.0 – EF05 Retail Inspection Standard – Version 2.0 18 INSPECTOR SELECTION AND QUALIFICATION 278 18.1 18.2 18.3 19 PRINCIPLE 278 INSPECTOR SELECTION 278 PROCESSES FOR QUALIFICATION AND INITIAL TRAINING OF INSPECTORS 278 INSPECTOR TRAINING 228 19.1 19.2 19.3 20 Page 4/102 PRINCIPLE 2829 INITIAL TRAINING: 2829 FOLLOW -UP TRAINING 2829 INSPECTOR MONITORING 29 20.1 20.2 20.3 PRINCIPLE 29 MONITORING THROUGH RE-READING OF INSPECTION REPORTS 290 MONITORING THROUGH ON-SITE SUPERVISED INSPECTION 290 21 FLOW CHART OF SELECTION, TRAINING, QUALIFICATION AND SUPERVISION PROCESSES 301 PART 4: REPORTING AND APPENDICES 312 22 INTRODUCTION 312 23 REPORT ON PREPARATORY VISIT TO RETAILER HEAD OFFICE 312 23.1 23.2 23.3 24 COVER PAGE 312 SECOND PAGE: DETAILED DESCRIPTION OF INSPECTION PERFORMED: 312 LIST OF SYSTEM REQUIREMENTS 323 STORE INSPECTION REPORTING 323 24.1 24.2 24.3 24.4 24.5 COVER PAGE 323 SECOND PAGE: DETAILED DESCRIPTION OF INSPECTION PERFORMED: 323 EXECUTIVE SUMMARY: 334 SUMMARY BY ACTIVITY: 334 DETAILS OF CHARACTERISTICS INSPECTED 334 25 APPENDIX 1: DETAILED CHARACTERISTICS OF THE ACTIVITIES COVERED BY THE INSPECTION 345 26 APPENDIX 2: TOOL FOR RATING FISH FRESHNESS - SIMPLIFIED METHOD 378 27 APPENDIX 3: PROPOSED LAYOUT OF REPORT ON PREPARATORY VISIT TO RETAILER HEAD OFFICES 3839 28 APPENDIX 4: PROPOSED LAYOUT OF STORE INSPECTION REPORT 412 29 APPENDIX 5: DETAILED CHARACTERISTICS OF ACTIVITIES EVALUATION 478 30 APPENDIX 6: R.A.S GLOSSARY 99 © RAS June 2009 - Version 2.0 – EF05 Retail Inspection Standard – Version 2.0 Page 5/102 PART 1: INSPECTION PROTOCOL INTRODUCTION This inspection protocol describes the specific requirements for inspection bodies performing inspections in accordance with the R.A.S standard Only inspection bodies with the NF EN ISO/CEI 17020 "C" -type certification for R.A.S and which have signed an agreement with the standard's owners may perform inspections under the R.A.S standard The requirements of the R.A.S which pertain to inspection bodies are clearly described in Part of the present document 2.1 HISTORY AND OBJECTIVES OF THE R.A.S History The R.A.S is the result of the desire of retailers belonging to the F.C.D (Fédération des entreprises du Commerce et de la Distribution) to be able to objectively measure the extent of control of their stores regarding the food safety of the food products they sell The members of the R.A.S committee thus sought to create a single, impartial, objective and recognised measurement "tool" Hence the establishment of the Requirements Standard and the Guidelines for Inspectors allowing recognised bodies (see Part 3) to successfully conduct these assessments (inspections) The R.A.S was created through the pooling of the knowledge and experience of the different retailers represented in the group; the selected requirements are structured and prioritised using a matrixbased approach This methodology makes it possible to use the R.A.S standard in supermarkets whose sales activities may be based exclusively on customer self-service and at bigger hypermarkets with a greater variety of distribution techniques 2.2 Food safety objectives for retail foods The top goal of the R.A.S standard is to be able to measure the extent of food safety compliance, at the different stores, with reference to the industry's Good Hygiene Practices, national and/or European regulations and the companies' own food safety control plans In addition to the notion of measuring conformity, the results of the R.A.S inspections will also enable the different stores or retailers to implement appropriate improvement action plans to increase the degree of safety for consumers NF EN ISO/CEI 17020: "General criteria for the activity of various types of inspection bodies performing inspection" Part 1: Inspection Protocol © RAS June 2009 - Version 2.0 – EF05 Retail Inspection Standard – Version 2.0 Page 6/102 SCOPE OF INSPECTION The R.A.S is a standard designed for the inspection of food safety activities at retail stores The scope of the inspection shall cover the activities described in Table (Also see Part 4: Appendix 1) Table 1: Overview of activities to inspection at retail outlets Activities 10 11 12 13 14 15 16 Management and support services Meat Delicatessen, ready to eat meals, cheese/dairy products without preparation Preparation of ready to eat meals Rotisserie, pizza, heating points Fish Bakery Baking terminals Pastry and confectionary Fruits & Vegetables Processed fresh and frozen foods Grocery Home delivery Snacking – sandwiches Sales promotion Others (e.g catering) All food-related activities which pertain to consumers shall be evaluated whether they are managed directly by the store or by a subcontracting service provider (for outsourced departments) and whether they are permanent or temporary (sales promotion) The scope of inspection excludes institutional food service activities and distance-selling preparation activities To allow for the closest possible adaptation to the work modes of the different types of stores affected (size, concept, work organisation, etc.), the R.A.S allows the ability to evaluate a given activity in multiple sub-units, called options An option is thus a duplicate evaluation of a given activity with a view to dividing up the variances observed by responsibility Example for the activity « delicatessen, cheese without processing », the retailer could choose several following options: « Delicatessen without processing» and « Cheese without processing» The scope of inspection is all of the options (sometimes there is just one) of all the store's activities This scope shall be defined and agreed to by the store (or the headquarter) and the inspection body before the inspection is performed It shall be stated clearly and unambiguously in the contract between the store (or the headquarter) and the inspection body, as well as in the inspection report Exceptionally, the inspector, with the consent of management at the inspected store, has the possibility to add an additional option to an activity when the options foreseen for this activity not allow for the separation of two levels of responsibility from different entities Example: There is a permanent, outsourced delicatessen side by side with the store's own food counters, but this is not indicated in the contract Any options added on the day of the inspection shall be justified in the inspection report Part 1: Inspection Protocol © RAS June 2009 - Version 2.0 – EF05 Retail Inspection Standard – Version 2.0 4.1 Page 7/102 PREPARATORY VISIT AND INSPECTIONS: FREQUENCY AND DURATION Preparatory visit to the headquarter This meeting between an inspection body (chosen by the retailer) and the retailer's central quality department should make it possible to confirm, if necessary, the choice of "system requirements" and the communication of key information about the retailer's activities (food safety management system, health and safety plan developed by the corporate quality control department) This meeting shall take least at least once a year The retailer has the possibility of requesting a preparatory visit as soon as it implements a significant change in its food safety management system or to have additional system requirements validated NOTE: It is conceivable that this preparatory visit to the retailer's headquarter has no specific reason for being, notably when, for example, there is no procedure or quality or food safety management system at the level of the corporate quality department The preparatory visit occurs by appointment as follows: The retailer first proposes a list of "system requirements" to the inspection body as well as the activity elements During the meeting, the inspection body confirms whether the choices are relevant The inspector shall be able to evaluate: o The presence and accuracy of the elements required in the selected requirements o Their centralised creation at the retailer’s corporate level o The methods of disseminating the information to the stores In some cases, the inspector shall rely on sampling methods The duration of the preparatory visit is adapted by the inspection body based on the number and content of the "system requirements" to evaluate At the conclusion of the visit, the inspector issues a formal report, whose format shall contain (at a minimum): Title of system requirement chosen, scoring (acceptance or refusal) and comment (see Part : Reporting) If a selected system requirement is not fully achieved (B, C or D scoring), the scoring obtained (by the retailer) is automatically carried over to all the store inspections until a new evaluation (preparatory visit) is performed The report also includes the scope of stores to which these system requirements apply This report is sent to the retailer by the inspection body within 15 business days following the preparatory visit Each retailer agrees to promptly forward this report to all the inspection bodies which are contractually bound to it for store inspections Changes in the evaluation of the system requirements selected, as well as changes in the food safety management systems shall be communicated by the retailers whenever necessary The communication of the retailer's specific activity details (business hours, communication methods, independence or connections between the corporate quality department and store quality representative, etc.) not appear in the protocol, but should be included as necessary in the contract between the retailer and the inspection body Part 1: Inspection Protocol © RAS June 2009 - Version 2.0 – EF05 Retail Inspection Standard – Version 2.0 4.2 Page 8/102 Store inspection The store inspection is an evaluation which makes it possible to measure the comprehensiveness of food safety management via an inspection by a "recognised" organisation (see Part 3: Requirements for inspection bodies and inspectors) Unexpected inspections and pre-scheduled inspections should be conducted in alternation An unexpected inspection is a planned inspection (at the inspector's discretion) within a one-month period announced to the store The first inspection in all stores shall be a scheduled appointment The notions of "scheduled" and "unannounced" shall appear in the inspection report (see Part 4: Reporting) 4.3 Determination of the frequency of inspections The minimum frequency required is one inspection per store per year The stores or retailers may define a higher number or frequency This information shall be entered into the contract between the store or retailer and the inspection body(s) hired The frequency may also be revised and increased in the case of results deemed inadequate 4.4 Duration of inspections The inspection bodies have an appropriate system to estimate the time needed to perform a store inspection (see Chapter 6.4: Model inspection plan) The time needed to conduct a complete inspection depends on: Store size Scope of inspection: activities present and options desired The duration of a store inspection is around: Total area of the store fewer than 2,000 m² : from to hours depending on the number of activities and options inspected Total area of the store from 2,000 m² to 5,000 m² : from to hours depending on the number of activities and options inspected Total area of the store from 5,000 m² to 10,000 m² : from to 10 hours depending on the number of activities and options inspected Total area of the store more than 10,000 m² : 10 hours minimum depending on the number of activities encountered and options inspected SCORING OF REQUIREMENTS - PRINCIPLES AND PARTICULARITIES The evaluation makes it possible to measure compliance, deviation or non-conformity vis-à-vis the R.A.S requirements using the guidelines for inspectors In the standard, there are four types of requirements: " requirements" "System requirements" "KO (Knock Out) requirements" "Alert re-wrapping requirement” These different types of requirements and their scoring are described below Part 1: Inspection Protocol © RAS June 2009 - Version 2.0 – EF05 Retail Inspection Standard – Version 2.0 5.1 Page 9/102 Guidelines for Inspectors The R.A.S guidelines are a tool made available to inspectors to give further details on how to evaluate requirements and the degree of variance observed for B, C, D and KO scorings These guidelines can be obtained from the F.C.D offices 5.2 Different types of requirements and scoring 5.2.1 “Requirements" The inspector shall judge compliance or deviation from these requirements For R.A.S inspections, there are four scoring possibilities Points are issued to each requirement according to the following table: Table 2: Requirement scoring Observations Full compliance Almost full compliance, a slight deviation has been detected Small part of the requirement has been implemented Result of evaluation A B (deviation) Points 20 points 15 points C (deviation) points Requirement has not been implemented D (deviation) point For results B, C and D, the inspector shall give small explanations in the inspection report 5.2.2 "System requirements" "System requirements" are the requirements which are managed by the retailer's corporate departments (quality, etc.) They are evaluated during the preparatory visit to the retailer’s headquarter (see Chapter 4.1) and are not evaluated during the store inspection During this preparatory visit, the requirements proposed and retained as "system requirements" are evaluated and scoring on the same basis as described above (scoring: A, B, C, D) They are identified on the inspection documents with the "system requirement" sign and shall not be re-evaluated during the store inspection The scoring for these requirements during the store inspection is the scoring obtained during the most recent preparatory visit to the retailer’s headquarter 5.2.3 "KO requirements" In the R.A.S., some particular requirements are defined as KO requirements These are identified as very important to food safety and could, in the event of non-conformity, endanger consumer health or safety These KO requirements may only be evaluated as full compliance (A) or not implemented (D) During the inspection, if the inspector observes that these "KO requirement» are not implemented by the store; there will be a significant reduction of points Under all circumstances, the inspection shall be performed in totality and all requirements shall be evaluated in order to give the store a comprehensive vision of its standing Part 1: Inspection Protocol © RAS June 2009 - Version 2.0 – EF05 Retail Inspection Standard – Version 2.0 Page 10/102 In the R.A.S., the nine following requirements are "KO requirements": Table 3: "KO requirements" Requirement no 19 34 107 121 127 139 206 207 225 Requirements No break in the cold or hot chain which could constitute a safety risk (KO) Implementation of alert, withdrawal, recall, quarantine and marking procedures (KO) Absence of cross-contamination which could cause a direct safety risk (KO) Implementation of best before and use by dates of raw materials/ingredients (processing) and absence of post dating Compliance of product labelling - food safety Absence of break of the cold/hot chain which can present a safety risk Presence of reference documents for activities concerned by the sanitary agreement or by the exemption of the sanitary agreement Absence of activities non authorised by law Non conforming products isolated and marked Table 4: Scoring of "KO requirements" Evaluation A B (deviation) C (deviation) KO (= D) (non-conformity) Explanation Full compliance Requirement has not been implemented Points awarded / Result 20 points No “B” scoring is possible No "C" scoring is possible point And a penalty is assigned to the scoring of the concerned activity or activity option Remark: It is not possible to issue a "B" or "C" scoring to a KO requirement The inspector may only assign an A or D scoring (= KO) The KO requirement shall be scoring N/A when it is associated with an N/A activity option or step (see Chapter 5.2.7: N/A scoring) The inspector shall specifically justify all D scorings in the inspection report When a KO requirement has been noted D, 25 points (out of a total of 100) are subtracted from the score of the concerned activity or activity option 5.2.4 "Alert re-wrapping requirement" In the R.A.S., this requirement is defined as a serious non-conformity It is identified as a critical behaviour of the store This requirement may only be judged compliant or non-compliant Table 5: Alert re-wrapping requirement Requirement no Requirement 122 Absence of re-wrapping with extension of best before date The alert re-wrapping is triggered when the inspector observes the practice of re-wrapping a product pre-packed by the store in order to re-package it and label it with an expiry date later than the initial expiry date This practice is considered to be a substantial misrepresentation of quality, sometimes it is also referred to as "rewrap" During the inspection, if the inspector observes that this requirement is not implemented by the store, there will be a major reduction of points The inspector shall specifically justify all D scorings in the inspection report Part 1: Inspection Protocol © RAS June 2009 - 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Version 2. 0 139 Page 98/1 02 There is no break in the cold or hot retailer which could constitute a health risk (KO) Shared Requirement no 20 0 20 1 20 2 20 3 20 4 20 5 20 6 20 7 20 8 20 9 21 0 21 1 21 2 21 3... June 20 09 - Version 2. 0 – EF05 Retail Inspection Standard – Version 2. 0 20 6 20 7 20 8 20 9 21 0 21 1 21 2 21 3 21 4 21 5 21 6 21 7 21 8 21 9 Page 94/1 02 Presence of reference documents for activities concerned... Events © RAS June 20 09 - Version 2. 0 – EF05 Retail Inspection Standard – Version 2. 0 Page 95/1 02 Others (e.g catering) Storage Requirement no 100 101 104 105 106 107 1 10 111 1 12 1 20 123 124 125